Client Assets

Safeguarding of Client Assets forms a cornerstone of trust in the financial industry The last financial crisis saw a number of banks fail, notably Northern Rock and Lehman Brothers.

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Vulnerable Customers

Protecting vulnerable customers is a key priority for the FCA Regulation on vulnerable customers acknowledges that, while all customers should be treated fairly, not all customers are the same.

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Treating Customers Fairly

TCF is at the heart of good financial conduct The FCA states that “all firms must be able to show consistently that fair treatment of customers is at the heart of their business model”.

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Conflicts of Interest

If overlooked, conflicts of interest can have serious consequences Conflicts of Interest are not uncommon in an ever-more connected world.

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Whistleblowing

Do you understand your rights and obligations? Since the financial crisis whistleblowing has become front-page news on topics such as data security and treating customers fairly.

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